Regulated Document Specialist

What You'll Do

Coordinate the distribution, webhosting, and archiving of regulated documents to retail and retirement shareholders according to federal laws and internal controls. This includes prospectuses, supplements, SAIs, semi-annual reports, annual reports, information statements, proxies, and more. Review and track production quality and schedules. Communicate with internal and external production staff and business partners to ensure requirements and deadlines are met. Additionally, identify opportunities and suggest improvements for workflows, procedures, and processes.

• Coordination:
  • Manage the production and distribution of regulated documents in accordance with federal rules and approved internal controls, standards, and process guidelines.
  • Develop project plans and checklists, determine production schedules, establish timing with the selected vendor, prioritize tasks, and review quality and progress during production.
  • Share documents and information with internal groups using the website, Virtual Supply, and shared drives, and with external parties such as sub-advisors. Keep printed materials for ongoing and new registered products according to Records Retention policies.
• Collaboration:
  • Work with internal and external production staff and business partners to resolve timing and prioritization discrepancies within set limits. Ensure requirements are fulfilled and distribution schedules are maintained.
  • Act as the first contact to handle issues, respond to questions, or listen to complaints.
  • Share relevant points during daily team or manager meetings to seek advice or escalate unusual matters to senior staff or managers as needed.
• Innovation:
  • Review and analyze documents, processes, and workflow steps to find chances and solutions for improving procedures and workflows. Emphasize cost-saving operational efficiencies.
  • Note improvements in the checklist. Present suggestions to partners. If agreed upon, help with documenting and launching their roll-out.
• Perform other job-related duties or special projects as required.
• This position requires successful completion of a credit history check.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are

• Requires high school diploma (some college course work preferred) and 4+ years related experience
• Good problem solving, time management, organizational and oral and written communication skills required
• Must be detail oriented, able to maintain a high degree of accuracy, meet established deadlines, able to handle multiple tasks and prioritize effectively
• Must be a self-starter, have good customer services skills and be able to effectively communicate with internal and external contacts
• Ability to learn systems and applications used within the firm required
• Knowledge of, or the ability to develop, the funds business and regulated document distribution requirements associated with it, including state and federal securities laws

Skills That Will Help You Stand Out

• Being detail oriented

Salary Range Information

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

Time Off Program

Pension Eligible

Location

Des Moines, IA 

Work Environments

This role offers a hybrid schedule (blending at least three office days in a typical workweek).

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any type of immigration sponsorship now or in the future to work in the United States. This includes F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and others. For more information about work authorization, please see the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Ethical Guidelines

Principal Asset Management roles require following an Investment Code of Ethics about personal and business conduct and trading activities for you and your household. These obligations may extend to other positions in the organization.

Experience Principal

At Principal, we believe in building connections on both personal and professional levels. Together, we’re envisioning a future for financial services that is driven by purpose – and that begins with you. Our achievements rely on the diverse experiences, backgrounds, and skills of our team members. We support our employees just as we do our customers: through thorough, competitive benefit packages designed to safeguard their physical, financial, and social wellness. Visit our careers site to discover more about our mission, values, and benefits.

Posting Window

Original Posting Date

Most Recently Posted Date

Principal uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our human recruiters in the initial review process but do not make final hiring decisions without human involvement. By submitting your application, you acknowledge this use of AI in our recruitment process. Please review our Workforce (U.S.) Privacy Notice for more details on our practices and your data privacy rights.